Guidelines for Developing and Implementing Team Resource Management

Transcription

1 EUROPEAN ORGANISATION FOR THE SAFETY OF AIR NAVIGATION EUROCONTROL This document is issued as an EATCHIP Guideline. The contents are not mandatory. They provide information and explanation or may indicate best practice. Guidelines for Developing and Implementing Team Resource Management HUM.ET1.ST GUI-01 Edition : 1.0 Edition Date : Status : Released Issue Class : EATCHIP EUROPEAN AIR TRAFFIC CONTROL HARMONISATION AND INTEGRATION PROGRAMME

2 DOCUMENT IDENTIFICATION SHEET DOCUMENT DESCRIPTION Document Title Guidelines for Developing and Implementing EWP DELIVERABLE REFERENCE NUMBER HUM.ET1.ST10.DEL-01 PROGRAMME REFERENCE INDEX EDITION : 1.0 HUM.ET1.ST GUI-01 EDITION DATE : Abstract These guidelines reflect the work of the (TRM) Task Force of the EATCHIP Human Resources Domain and provide management and operational staff with relevant information when considering the development and implementation of TRM. An example of an outlined syllabus for TRM training which can be used by training designers as a basis for developing courses is also provided. Keywords Situational awareness Decision-making Communication Teamwork Leadership Stress management CONTACT PERSON : M. Barbarino TEL : 3951 DIVISION : DED5 DOCUMENT STATUS AND TYPE STATUS CATEGORY CLASSIFICATION Working Draft Executive Task General Public Draft Specialist Task EATCHIP Proposed Issue Lower Layer Task Restricted Released Issue ELECTRONIC BACKUP INTERNAL REFERENCE NAME : TRM_REL1.DOC HOST SYSTEM MEDIA SOFTWARE(S) Microsoft Windows Type : Floppy disk MS Word Media Identification : Version 6.0

3 Guidelines for Developing and Implementing HUM.ET1.ST GUI-01 DOCUMENT APPROVAL The present edition of this document has been approved by the following management authorities. AUTHORITY NAME AND SIGNATURE DATE Chairman TRM Task Force Chairman Human Resources Team M. BARBARINO C. P. CLARK SDOE W. PHILLIP Edition 1.0 Released Issue Page iii

4 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing DOCUMENT CHANGE RECORD EDITION DATE REASON FOR CHANGE SECTIONS / PAGES AFFECTED Original version All Working Draft reviewed by the TRM Task Force All Working Draft reviewed by the TRM Task Force All Working Draft reviewed by the TRM Task Force All Working Draft reviewed by the TRM Task Force and a technical author Draft finally reviewed by the TRM Task Force and accepted as Proposed Issue by HRT All All Released Issue All Page iv Released Issue Edition 1.0

5 Guidelines for Developing and Implementing HUM.ET1.ST GUI-01 TABLE OF CONTENTS DOCUMENT IDENTIFICATION SHEET... ii DOCUMENT APPROVAL... iii DOCUMENT CHANGE RECORD... iv TABLE OF CONTENTS... v executive SUMMARY INTRODUCTION Scope Purpose Task Force Activities GUIDELINES FOR TRM DEVELOPMENT Concept Strategy Training Course Evolution GUIDELINES FOR TRM IMPLEMENTATION TRM Introduction Testing and Evaluation Convergence and Implementation OUTLINED SYLLABUS OF TRM TRAINING COURSES Sequence, Duration and Participants Content and Methods Course Syllabus SUMMARY OF GUIDELINES TRM Development Guidelines TRM Implementation Guidelines Edition 1.0 Released Issue Page v

6 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing REFERENCES DEFINITIONS ABBREVIATIONS AND ACRONYMS LIST OF CONTRIBUTORS Page vi Released Issue Edition 1.0

7 Guidelines for Developing and Implementing HUM.ET1.ST GUI-01 EXECUTIVE SUMMARY In aviation, teamwork is one of the most important human factors in maintaining and enhancing safety and efficiency. The world s airlines have successfully implemented the concept of Crew Resource Management (CRM) in the last 20 years. Several investigations and studies have indicated a similar need for enhanced teamwork practices amongst Air Traffic Management (ATM) staff. In this context ATM is understood to include Air Traffic Services, Airspace Management and Flow Control Management. This document reflects the work of the (TRM) Task Force of the EATCHIP Human Resources Domain and provides management and operational staff with relevant information to consider when developing and implementing TRM. Chapter 1 introduces the background, scope and purpose of TRM and describes the Task Force activities, principles and work model used. Chapter 2 describes the guidelines that form the basis for TRM development covering its concept, strategy, training course and evolution. Chapter 3 covers issues relevant to the implementation of TRM giving recommendations and guidelines for its introduction, testing and evaluation, and convergence. Chapter 4 provides an example of an outline syllabus for TRM training which can be used as a basis by training designers. Chapter 5 summarises the guidelines for developing and implementing TRM. References, definitions and abbreviations can be found at the end of the document. Edition 1.0 Released Issue Page 1

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9 Guidelines for Developing and Implementing HUM.ET1.ST GUI INTRODUCTION Over the last 20 years, airlines have been very successful in promoting the ideas of enhanced team working practices. Nearly every airline around the world applies the principles of Crew Resource Management (CRM) for pilots and other operational airline staff. This raised the question of whether a comparable concept for operational staff would benefit the ATS/ATM system (see also Eissfeldt, 1994; Haertel & Haertel, 1995; Helmreich; 1993; Henderson, 1988; Herschler, 1991; Hopkin, 1994; Mudge & Gidde, 1993; Ruitenberg, 1995; Tenney, 1993). Human Resources Business Plan Task HUM.ET1.ST10 entitled Develop an ATS Crew Resource Management (CRM) Programme was presented to ECAC representatives at the first EATCHIP Human Resources Team (HRT) meeting in March Following from this, in July 1994, a Study Group reporting to the HRT through the Short Term Benefits Task Force was created, to investigate the possible benefits of and requirements for a Team Resources Management (TRM) programme. Within its scope the TRM Study Group carried out the following activities: a literature survey concerning relevant CRM/TRM publications (Eissfeldt, 1994); a teamwork-related ATC incident survey; a questionnaire survey to determine the attitude of controllers to teamwork in ATC; a TRM training survey to identify current team training activities in the ECAC States. The results of these studies clearly indicated that failures in teamwork function contribute to incidents and often have a negative effect on the performance of controllers. This pointed to a definite need for a TRM training programme. In February 1995 the Study Group produced an Interim Report (EATCHIP HRT, 1994) which was presented to the third Human Resources Team (HRT) meeting in March The HRT agreed on this basis to establish a Team Resource Management Task Force (TRMTF) for a twelve-month period under its mandate. The Task Force was to report directly to the HRT and base its work on the conclusions and recommendations of the Study Group. 1.1 Scope This document seeks to show that the principles of Team Resource Management (TRM) when applied to operational ATM staff has an important influence on safety and efficiency for today s operation. Furthermore, these Edition 1.0 Released Issue Page 3

10 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing 1.2 Purpose principles should be taken into account in the future European Air Traffic Management System (EATMS). For these purposes TRM is defined as: Strategies for the best use of all available resources - information, equipment and people - to optimise the safety and efficiency of Air Traffic Services, based on the following principles: developed by operational staff and human factors experts, linked to human factors incident and accident investigations, based on best practice from airline Crew Resource Management (CRM). The principal purpose of the TRM Task Force was to produce guidelines for the development and implementation of. A secondary purpose was that the TF hoped to foster an awareness of the benefits of TRM, to integrate TRM into the global training plan, and to give an example of an outline syllabus on which TRM training courses could be modelled. 1.3 Task Force Activities The TRM Task Force, established in Summer 1995, includes ECAC State representatives from France, Germany, Switzerland, the United Kingdom, Eurocontrol Headquarters and the Institute for Air Navigation together with a mixed team of active controllers, trainers and human factors experts Work Method The Task Force adopted the Project Teamwork (PTW) method with which to address the question: Which aspects should we consider for TRM?. The Project Teamwork method enables work on complex problems to be undertaken using visual and interactive techniques. It is a structured work technique which provides an orderly mechanism for obtaining qualitative data and information from groups familiar with a particular problem area. A facilitator guides the process by which a team arrives at consensus and commitment to decisions and actions. Each member of a team is required to present his or her experience and concepts of the real situation. The wisdom and experience of team members are key elements in developing purposeful concepts and solutions. PTW normally consists of six phases. Working through these phases is not seen as a one-off exercise but rather as a cyclic and iterative process which provides the flexibility required when addressing new developments and requirements. Page 4 Released Issue Edition 1.0

11 Guidelines for Developing and Implementing HUM.ET1.ST GUI-01 The Task Force identified the following four phases as being sufficient for their purposes: 1. Leading question: At the start the facilitator guides the team to find the appropriate question in order to gather ideas on the subject. 2. Brainwriting: All team members supply as many answers to the question as possible in written form. All ideas are allowed and criticism at this stage is forbidden. 3. Idea explanation: The facilitator asks the team members to explain and discuss the ideas in a structured way in order to improve common understanding and to find common agreed definitions. 4. Clustering: The team identifies ideas of similar content to find a structure for the subject Model of On completion of the Project Teamwork the Task Force put together a process model of TRM-related aspects (Figure 1). CRM/TRM LITERA- TURE ATCO SURVEY CRM AIRLINES TRM PREREQUISITES ATC INCIDENT DATA CONCEPT TRM DEVELOPMENT STRATEGY EVOLUTION COURSE TRM IMPLEMEN- TATION INTRO- DUCTION TESTING EVALUATION & REFINEMENT CONVER- GENCE Figure 1: Process model of The three main interlinked components of this model are: TRM prerequisites, TRM development, TRM implementation. Edition 1.0 Released Issue Page 5

12 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing TRM Prerequisites TRM prerequisites seek to answer the basic question of whether there is a need for CRM training for operational staff in ATM. As mentioned earlier this work has already been done by the TRM Study Group and is described in an unpublished report (EATCHIP Human Resources Team, 1994). Guidelines for developing and implementing TRM within national ATM organisations are now considered under the following headings: TRM Development Concept Strategy Training courses Evolution TRM Implementation Introduction Testing Evaluation Convergence The following chapters provide guidelines for the development and implementation of TRM and for each of the above-listed topics gives: a brief introduction and explanation of the topic, its relevance to existing knowledge and experience, practical solutions summarised in the form of guidelines. Page 6 Released Issue Edition 1.0

13 Guidelines for Developing and Implementing HUM.ET1.ST GUI GUIDELINES FOR TRM DEVELOPMENT 2.1 Concept Why TRM? The sub-chapters below deal with the following TRM issues: why TRM?, TRM objectives, teamwork in ATM, teamwork and system changes. Crew Resource Management (CRM) on the flight deck gained much of its impetus from the fact that there had been a number of serious incidents and accidents in which poor communication, crew performance and inadequate behaviour were seen as significant contributory, if not causal, factors. There is a growing body of evidence which illustrates similar problems within ATM. This points to the need to complement the improvements made in the air, via CRM, with better team functioning within ATM. The point has been made elsewhere that "It is somewhat surprising that Controller Resource Management did not develop in conjunction with Cockpit Resource Management" (Helmreich et al., 1993). Although a great deal of effort and expertise is devoted to training individuals in the technical skills necessary for the ATM task, little, if anything, has been done to train these individuals to function as team members. Incidents and accidents in which inadequate teamwork has been shown to be a factor indicate that much more attention needs to be focused on this vital area and the adoption of the title "Team Resource Management" is intended to reflect the importance of the team in the safe and efficient conduct of Air Traffic Management. "Now is the time to apply the same emphasis and standards to teamwork skills that we currently apply primarily to technical skills" (Biegalski, 1995) TRM Benefits Despite the evidence, it would be overly optimistic to assume that an innovation such as TRM training would be universally adopted without a convincing argument as to its worth to the organisation as a whole. In summary, the main benefits of TRM are considered to be: reduced teamwork-related incidents, enhanced task efficiency, improved use of staff resources, enhanced continuity and stability of teamwork in ATM, enhanced sense of working as a part of a larger and more efficient team, increased job satisfaction. Edition 1.0 Released Issue Page 7

14 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing Management While the development of CRM was brought about mainly by the recognition that ineffective behaviour can jeopardise safety, improvements in team performance also lead to a concomitant enhancement of efficiency. An examination of some of the CRM elements identified by Lauber (1987) shows that many of them have implications, not only for safety, but also for the efficiency of the operation. These elements include such aspects as communication and leadership, the delegation of tasks and appropriate workload distribution, the establishment of priorities, monitoring and cross checking, information use, the management of distraction and the avoidance of preoccupation. Other commentators in the field have proposed other dimensions including the use of available resources both human and in terms of equipment, Standard Operational Procedures (SOPs), manuals etc. Enhancements in the dimensions identified would clearly lead to greater task efficiency and improved use of staff resources. While safety remains of paramount importance, management has also to take account of the relative benefits and costs of any innovation. As with many safety-related issues, it is difficult to place a monetary value on the benefits to be gained from the implementation of enhanced team training except perhaps to compare it with the potential cost, in human and monetary terms, of an incident or accident brought about by poor teamwork. It is important that TRM is not viewed as a cosmetic and expensive "add-on" to existing training, but rather as an integral part of the training structure and culture within the organisation. A number of practical and relatively inexpensive methods have been suggested (Biegalski, 1995) by which CRM can be integrated into a company. Similar methods could be applied to the integration of TRM. These include underlining the importance of good teamwork at every meeting; using existing members of staff and training them as "coaches" and advocates of team training - in the context of ATC, supervisors and those responsible for coaching trainees would seem to be likely candidates; utilising and adapting existing programmes to address problems where teamwork skills have been shown to be inadequate; and, essentially, being prepared to deal with instances of poor team performance with the same level of concern as would be shown for any other examples of sub-optimum performance likely to affect safety and efficiency. The role of management support in the success of team training initiatives like CRM cannot be overestimated. Helmreich and Foushee (1993), for example, discovered that "several organisations in which flight operations management made a concerted effort to communicate the nature of CRM training and the organisation s dedication have noted significant improvement in cockpit management attitudes even before formal training was instituted". Page 8 Released Issue Edition 1.0

15 Guidelines for Developing and Implementing HUM.ET1.ST GUI Operational Staff In addition to making management aware of the benefits of good team working, it is essential to convince the operational staff themselves that TRM has something to offer them in their daily work. Controllers for example realise the importance of good communication in a task which essentially depends for its safe execution on the quality and accuracy of the information which is transferred and the manner in which the various team members can communicate. However, the need to be able to accept suggestions from colleagues, to give and receive constructive criticism and to view the whole task as an exercise in team performance as well as individual skill, is perhaps less well understood. Much of the success of the process depends on the manner in which TRM information and concepts are conveyed. The credibility of any course will hinge on the relevance of the information provided to the participants everyday working lives. However, in the effort to explain to operational staff what TRM is, it is also important to make clear to them what it is not. TRM is not, for example, a substitute for inadequate training, nor is it intended to substitute for poor procedures and documentation nor for inefficient management structures or loosely and inadequately defined organisational roles. TRM is not intended as a replacement for technical training but should complement it. It is important that TRM is shown to be a means of increasing skill and professionalism. The increased awareness of doing a more efficient job, coupled with an enhanced sense of working as a part of a larger and efficient team, will also lead to improved job satisfaction which, in itself, is likely further to improve professionalism and efficiency. This is of benefit to the staff themselves and the organisations in which they work Guideline TRM Development Guideline 1 The practical benefits of enhanced team performance for both management and operational staff should be communicated as early as possible. This will develop the necessary commitment to develop and reinforce TRM throughout the organisation TRM Objectives In order to reduce or minimise the impact of teamwork-related errors within ATM teams a course should be introduced to train operational staff in behavioural strategies. TRM training seeks to ensure the effective functioning of operational staff through the timely and proficient use of all available resources aimed at the safe and efficient flow of air traffic. Key objectives for TRM training are to develop team-member s attitudes and behaviour towards enhanced teamwork skills and performance in Air Traffic Management. Operational staff are trained in technical and procedural skills and their abilities to cope with the various requirements of the job are usually carefully tested by a specially designed selection procedure. Within this procedure, Edition 1.0 Released Issue Page 9

16 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing operational staff are assessed to ascertain whether they have the aptitudes and attitudes required for the job concerned. TRM will use these aptitudes and attitudes to help operational staff understand and be aware of the following: teamwork and how it affects team function; how behaviour and attitudes can have an influence in accidents and incidents. After operational staff have developed the required attitudes and behavioural skills they should then have the opportunity to practise them in a further training programme in an operational environment Aims of TRM To enable operational staff to develop an effective ATM team concept TRM should deal with the following subjects: Situational Awareness Symptoms of loss of situational awareness and factors that can have a positive or negative influence on awareness. Decision-making Basic principles of individual and group decision-making processes. Communication Improve communication within teams and their effect on safety. Teamwork Effects of shared mental models and strategies to develop common understanding of typical situations that may influence efficient teamwork. Leadership Leadership, authority and assertiveness and their positive or negative effects on teamwork depending on how it is used or misused. Stress Management Effects of stress within ATM and the skills to cope with stress-related problems within teams. Page 10 Released Issue Edition 1.0

17 Guidelines for Developing and Implementing HUM.ET1.ST GUI Guideline TRM Development Guideline 2 The main objective of TRM for operational staff should be the development of attitudes and behaviour which will contribute to enhanced teamwork skills and performance in order to reduce teamwork failures as a contributory factor in ATM-related incidents and accidents Teamwork in ATM In the early days of Cockpit Resource Management (CRM) the definition of a crew and their work in a team was relatively easy (Lauber, 1984). The crew was defined as the pilot and co-pilot. In further developments of CRM the idea of crew work was extended to the cabin crew. Cockpit Resource Management was therefore renamed Crew Resource Management. In ATM it is not so easy to define team and teamwork, however it is obvious that operational staff work in team structures (Hopkin, 1987, 1995, Ruitenberg, 1995). It is often difficult to define how many people constitute a team, who is seen as a member of a team and what kind of co-operative and joint work is regarded as teamwork Teams and Teamwork in ATM The TRM study group defined a team in ATM as a group of two or more persons who interact dynamically and interdependently within assigned specific roles, functions and responsibilities. They have to adapt continuously to each other to ensure the establishment of a safe, orderly and expeditious flow of air traffic. Figure 2 illustrates an example of possible teamwork relations which a single operational controller might identify from his individual point of view. Edition 1.0 Released Issue Page 11

18 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing A/C Other ATCOs Other Sectors ATCO ATCO ATC units ACC TWR APP ATCO Flight Data Assistance FDA Flow Management Supervisor ATM Support Staff Figure 2: Teamwork relations in ATM First of all one can identify teamwork between controllers and pilots. Amongst controllers the smallest teamwork cell in ATM could be described as the controllers and flight data assistants working within the same operational area. There is also teamwork between controllers of different operational areas and finally there is teamwork between controllers of different ATC units (ACC, APP, TWR). Teamwork relations can also be seen between controllers and any other operational staff (flow management, supervisors, ATM support staff etc.). Several authors (e.g. Johnston, 1993; Kabbani, 1995; Merrit, 1993) have stressed the consideration of cross-cultural aspects in CRM. ATM teamwork obviously has to deal with cross-cultural aspects. This includes not only cultural aspects amongst ATM units of different countries and nationalities, but also amongst different units and teams within one nation. TRM could in this respect be an aid to understanding and dealing with the cross-cultural aspects in an international ATM environment Guideline TRM Development Guideline 3 The initial phase of TRM should concentrate on teamwork amongst air traffic controllers. At a later stage TRM should be extended to teamwork amongst other operational staff. Page 12 Released Issue Edition 1.0

19 Guidelines for Developing and Implementing HUM.ET1.ST GUI Teamwork and System Changes In future ATM systems consideration will have to be given to the impact of systems innovations on teamwork and conversely, development in TRM will need to take account of system changes. Although it is impossible to anticipate all system changes, provision should be made to ensure the continuity and stability of teamwork which enables teams to cope with system changes in the work environment System Changes New procedures and technology will certainly change the roles and functions of controller tasks and teamwork. Changes might be expected in advanced air and ground-based equipment, for example radiotelephony will be partly replaced by automatic datalink. Plans for some future ATM system concentrate primarily on support and computer assistance tools for the tasks of individual controllers but not for teams (Hopkin, 1994). The work of the controller might be less observable as far as collective consultation and decision-making processes are concerned. Flexible rostering arrangements may change the present fixed team structures into more fluid ones. Therefore the need for training in teamwork skills will increase to maintain efficient task performance in ATM Guideline TRM Development Guideline 4 The development of the future ATM system should consider TRM principles in order to ensure continuity and teamwork stability. 2.2 Strategy The sub-chapters below deal with the following issues of the TRM strategy: TRM training plan, TRM regulations TRM Training Plan This chapter provides details on how TRM training should be structured and its relevance to other types of training. Edition 1.0 Released Issue Page 13

20 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing Training Phases It is considered that there are three distinct elements to TRM training: an introduction or awareness phase; a practice session using practical exercises to highlight concepts taught in the awareness phase; a refresher training phase. This strategy is similar to that used by airlines and is in accordance with guidance issued by the FAA (1989). The introduction or awareness phase would involve classroom type instruction and group exercises to explain the basic concepts of TRM. In general terms this instruction would be related to such items as situational awareness, decision-making, communication, teamwork, leadership and stress management. Ideally, Team-Oriented ATC Simulator Training (TOAST) would follow on immediately from the theoretical aspects and may involve radar or other simulated operational environments. This aspect might be similar to the Line Orientated Flight Training (LOFT) provided by airlines (Butler, 1993), and involves specially designed exercises that highlight and demonstrate some of the theoretical aspects covered in the classroom sessions. Finally, at periods during the operational career of participants, refresher or reinforcement training should be provided. This should be at intervals of not more than five years and include recent teamwork-related incidents and positive experiences. Although this strategy is related to specific TRM training, it is essential that TRM issues are incorporated into all training where appropriate. For example, those courses that teach controllers instructional techniques must contain some elements of TRM input. It is also desirable that ab initio training considers the basic concepts of TRM in the same way it is done in the common core content. Finally, any emergency response or continuation training of any kind should contain TRM aspects/scenarios. TRM training may be successfully combined with other training. Page 14 Released Issue Edition 1.0

21 Guidelines for Developing and Implementing HUM.ET1.ST GUI Guideline TRM Development Guideline 5 TRM training should comprise three phases, an introductory/awareness phase, a practical phase and a refresher/reinforcement phase. Related training for operational staff should contain elements of TRM TRM Regulations The ability to work efficiently as a team member should be recognised as essential for operational staff. The whole process of human resource management should therefore ensure that operational staff have the best support to help them attain this objective Link with Selection, Global Training Plan and Licensing The selection process should assess personality traits most appropriate for work in a team environment. These general aptitudes should be considered of the utmost importance to facilitate the later acquisition of the appropriate attitudes and behaviour in teams. Appropriate attitudes cannot be acquired with a single training action. It is essential to ensure the insertion of TRM training in the general training plan. Two different populations have to be considered: experienced operational staff, ab initio trainees. For the first population a training plan has to be designed to ensure that all will benefit. For ab initio trainees human factors issues should be part of basic and advanced training and TRM should therefore be integrated in the global training plan. This is taken into account in the harmonised common core content of training for air traffic controllers. Wherever applicable TRM training should be a mandatory part of licensing Guideline TRM Guideline 6 TRM should be mandatory elements in the selection, training and licensing of operational staff. Edition 1.0 Released Issue Page 15

22 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing 2.3 Training Course The sub-chapters below deal with the following issues of the TRM training course: objectives, participants, instructors, scenario, content, tools and methods Course Content and Training Objectives As stated previously it is recommended that the following subjects (Figure 3) form the training content of a TRM course. For all subjects the objectives will be stated and explained and literature references dealing with the subject given. Stress Management Situational Awareness Leadership Decision Making Teamwork Communication Figure 3: Content of TRM courses Page 16 Released Issue Edition 1.0

23 Guidelines for Developing and Implementing HUM.ET1.ST GUI Situational Awareness The main objectives are that course participants will be able to: understand situational awareness; identify symptoms of loss of situational awareness; identify factors that may have a positive or negative influence on situational awareness; Example: Describe the effect of high and low workload on situational awareness and develop appropriate strategies on how to prevent loss of awareness in such situations (see also Robertson & Endsley, 1995). identify hazardous attitudes and develop behavioural skills to avoid them. Example: Identify your own personal motivations and attitudes towards job situations and analyse the reasons for these attitudes. Counter measures for actions and decisions based on hazardous attitudes should be developed. There are basically five typical kinds of hazardous attitudes (Eissfeldt et al, 1994) that are useful to analyse within TRM, these are: anti-authority: impulsiveness: invulnerability: macho: resignation: "Don t tell me what to do!" "I must act now, there is no time." "It won t happen to me." "I ll show you - I can do it!" "What s the use?" Decision-making The main objectives are that course participants will be able to: understand factors which contribute to effective team decision-making; Example: Describe the importance of situation and risk assessment skills, meta-cognition, shared problem models and resource management skills in the process of team decision-making (see also Orasanu, 1993). understand an example of a structured process of decision-making in special situations. Example: Describe the FOR-DEC model (Hoermann, 1995), which means the analysis of Facts, Options, Risks and Benefits, Decision, Execution and Check in special ATM-related situations such as emergencies, system failures, unusual situations, etc. The DODAR model (Diagnosis, Options, Decision, Assessment, Revision) could be used as an alternative example of a structured decision-making process. Edition 1.0 Released Issue Page 17

24 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing Communication The main objectives are that course participants will be able to: identify the functions of communication and analyse how communication is being performed within teams and how it can affect safety; Example: Understand the main functions of communication: provide information, establish interpersonal relationships, establish predictable behaviour patterns and maintain attention to tasks and monitoring. (see also Kanki & Palmer, 1993; Seamster et al., 1992). The effect of using Standard Operational Procedures (SOPs) to communicate information and the risk of not adhering to SOPs should be made clear in this context. develop strategies on how to communicate effectively, how to intervene efficiently in typical ATM-related situations and how to give and receive feedback and constructive criticism. Example: Analyse how misunderstandings can be avoided, suggestions communicated constructively and what effects criticism can have. Barriers to communication and ways of eliminating them should be specified. Effective communication skills should be taught to improve interpersonal diplomacy, appropriate assertiveness and team-oriented decision-making in order to generate positive reinforcement and respect within a team. The nature of information and how it is transferred should be analysed. The aim is to make participants aware of the danger of bad or confusing communication by presenting relevant examples that help them to develop more efficient and safer communication strategies Teamwork The main objectives are that course participants should be able to: determine typical characteristics of ATM-related teamwork; Example: Define the relevant positions and status of team members within an ATM team and determine the different roles, duties, responsibilities and the effect of their position in a team. identify behaviour that has a negative impact on teamwork and consequently develop and practise behavioural strategies that help to improve effective teamwork; Example: Identify typical attitudes and behaviours of team members that may have positive and negative effects on teamwork (e.g. high and low power distance, uncertainty avoidance and individualism). Their strengths and weaknesses should be discussed and determined. Participants should be made aware of intra- and inter-cultural differences between teams (their own or other units and sectors). Once the skills are determined and identified, operational staff should have the opportunity to analyse, develop Page 18 Released Issue Edition 1.0

25 Guidelines for Developing and Implementing HUM.ET1.ST GUI-01 and practise them to improve their individual teamwork style and their attitude towards colleagues. identify the importance of recognising different character types within teams and their influence on teamwork; Example: Demonstrate how dominant and subordinate personalities can be identified and how various kinds of behavioural methods can help achieve consistency to maximise efficient team operation. Point out how dominant behaviour can have a negative impact on other team member s performance (i.e. the dominant controller forcing the weaker colleague to accept more traffic than he or she is able to handle). understand the meaning and differences between team identity and corporate identity; Example: Determine the official rules, unofficial rules and unwritten rules within an ATM environment and their effect on individual behaviour within a team. understand the effect of shared mental models and develop strategies that allow the development of common understanding of typical situations that may influence efficient teamwork. Example: Make participants aware of the fact that each individual can interpret complex traffic situations differently (mental model), develop strategies and show examples by which mental models can be shared. Analyse the positive and negative effects on teamwork in order to facilitate the change from an individualistic to a co-operative and effective teamrelated approach. (see also Cannon-Bowers & Converse, 1993; Hackman, 1993) Leadership The main objectives are that course participants will be able to: describe authority and assertiveness; Example: Describe formal and informal hierarchical structures in an ATM environment. Discuss the role of team supervisors or other team leaders and identify specific characteristics which influence leadership within teams. Determine the participant s attitude towards authority, how they define their own authority and what it means to them if they feel mistreated (see also Hackman, 1993). identify ineffective leadership. Example: Develop strategies to avoid errors due to misunderstandings arising from lack of authority. Develop strategies to deal with submissiveness, assertiveness and aggressiveness. Edition 1.0 Released Issue Page 19

26 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing Stress Management The main objectives are that course participants will be able to: define job-related stress situations, explain what stress is and its effect on teamwork; develop skills to prevent stress; develop skills to recognise and cope with stress situations in teams. Example: Discuss stress coping strategies in a team environment. The general principles of the assimilation of shocking and stressful events should be described together with the principles of stress management (e.g. relaxation techniques). Discuss and practise team-related exercises dealing with stress detection and methods to help team members overcome the problem. Determine work factors that can have an influence on safe and efficient control decisions for themselves and team members. Learn how to avoid stress through better planning, priority setting and workload delegation (see also Eissfeldt, 1994: Hopkin, 1995) Guideline TRM Development Guideline 7 Situational awareness, decision-making, communication, teamwork, leadership and stress management should form the mandatory subjects of a TRM training course Course Participants In the airline industry, the original cockpit resource management (CRM) training was designed for and provided to pilots. As the airline industry has gained experience with this type of training the advantages of increasing its scope to include non-flight crew have been realised. As a first step, cabin staff have been included in some of the training programmes. It is understood that the scope of CRM will increase further, possibly to include other operational staff associated with aircraft operation such as flight dispatchers, etc. This chapter considers who within Air Traffic Management operation should be included in the TRM training Participants It is a fact that a significant number of operational staff from differing disciplines within ATM have the potential to impact in some way on the safe and efficient operation of the system. While it is likely that these operational staff may all benefit from TRM, it must be recognised that the training should be given first to those who can have a Page 20 Released Issue Edition 1.0

27 Guidelines for Developing and Implementing HUM.ET1.ST GUI-01 major influence on the ATM system. This phased introduction would allow experience to be gained with TRM training and for the courses themselves to evolve Guideline TRM Development Guideline 8 The first phase of TRM training should be provided both to operational controllers and supervisors and should later be extended to other operational staff in ATM Course Instructors A crucial factor in the acceptance of TRM as a concept is the selection of the right instructors. Although human factors experts may be involved in the design of a specific course, airline experience has shown that there is a high acceptance level when the instruction given has an operational emphasis Instructors Based upon airline experience, where the use of operational aircrew as instructors has helped CRM training achieve a high acceptance level, it is proposed that ATM operational staff should similarly be involved in training. CRM training involving operational staff has proven to give a high degree of credibility and acceptance. In addition, it is important that instructors are selected with care. An instructor should be someone with good presentation skills who is both persuasive and aware of the problems experienced in the operational environment. An instructor should also be open to new concepts and be convinced of the importance and relevance of TRM training. Having selected suitable instructors it will be necessary to provide them with training in TRM concepts. This training, which should include input from human factors experts, will explain TRM concepts and methods in detail, and demonstrate the importance of this type of training. It is recommended that a sufficient number of instructors be trained. Ideally, an instruction team should consist of an operational staff members and a human factors experts Guideline TRM Development Guideline 9 TRM instructors should be carefully selected and trained, and where possible should be active operational staff. Edition 1.0 Released Issue Page 21

28 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing Course Scenario If TRM is to be accepted by the target group it is essential that TRM principles are seen as relevant to the everyday working life of that group. If participants in TRM courses cannot relate what is taught to their own experience, there is little possibility that their attitudes, and subsequently their behaviour, will change in the desired manner and any hoped for improvement will not be forthcoming. There are a number of ways in which the content of TRM courses can be tailored to make what is taught more relevant and effective. These are discussed below Realistic Training Examples One of the major difficulties in designing training courses can be in the construction of appropriate examples and scenarios to illustrate training points and issues. If course participants perceive the examples provided as improbable or irrelevant, the effectiveness of the training as a whole is likely to be significantly reduced. The use of genuine examples, suitably disidentified, is therefore essential. The majority of units will have experienced ATM-related incidents, or at least have access to information about incidents which illustrate the importance of good teamwork. Ideally, a library of suitable incidents should be built up from which course designers can select appropriate examples that illustrate good and bad teamwork Updating of Examples While it is important to use genuine scenarios to illustrate training points, it is also vital to keep courses updated with new examples. This is particularly true in the design and composition of refresher training courses which could lose a good deal of their impact if only familiar examples were included. One manner in which new material can be gathered is to encourage course participants to provide examples from their own experience. This presupposes that the course is run in an environment in which the participants feel sufficiently confident to reveal information on incidents in which they themselves have been involved. However, if the courses are conducted in an open, nonthreatening, manner it should be possible to generate this level of confidence Realistic Training Solutions The main aim of the course is to teach participants how to utilise good principles and practice in order to improve their own team functioning. When TRM principles are being taught it is important for the instructor to recognise the less than ideal situations in which same operational staff may operate. Part of the process of rendering courses realistic and relevant will be by taking account of problems which arise in day to day work. Some course participants may work as part of a large team, others in small groups or as individuals. TRM training should therefore be designed with sufficient flexibility to be able Page 22 Released Issue Edition 1.0

29 Guidelines for Developing and Implementing HUM.ET1.ST GUI-01 to adapt to the different needs of course participants and to recognise and reflect the reality of the conditions under which they work Training Environment Effective training requires good training materials but also depends on a suitable environment in which course participants can practise what they have learned. TRM involves learning and using practical skills and such skills are best learned and maintained through their use in a realistic setting. The adoption of Line-Oriented Flight Training (LOFT) (Butler, 1993) by the airlines recognises this fact. A similar training environment must be envisaged for operational staff. Training scenarios can be set up either in the simulator (TOAST), or as part of role play, to allow course participants to practise and develop TRM skills. These scenarios can involve both normal operation and unusual or emergency situations where effective team functioning is vitally important Guideline TRM Development Guideline 10 Scenarios for training purposes should be realistic, relevant to course participants and regularly updated. The provision of a simulation environment should be considered such that participants can practise and reinforce TRM skills in both normal and emergency situations Course Tools and Methods The following text describes the basic tools and methods recommended for the conduct of TRM training. Course subjects should be based on the experience and knowledge of the participants in order to allow an efficient transfer of the course contents to their operational environment and to play an active role in TRM. This requires that all exercises and examples should have a realistic link to the operational environment of the participants Tools and Methods At the beginning of a course it should be made clear to participants that TRM training is aimed at developing teamwork-related attitudes and behaviour and is not trying to influence the participant s personality. In addition it is recommended that participation in certain exercises (e.g. role-plays) be on a voluntary basis. An important benefit of TRM is that participants receive feedback on the way they co-operate when handling tasks and problems as a team. Feedback should therefore not only cover the results of teamwork but also the means of achieving it. Edition 1.0 Released Issue Page 23

30 HUM.ET1.ST GUI-01 Guidelines for Developing and Implementing The following methods are recommended to meet the objectives of the various TRM-subjects (see also Eissfeldt et al., 1994): Transfer of information and relevant facts, using: documents and classroom teaching. Analysis of existing behaviour and attitudes, using: feedback by video, self-assessment and assessment by others through role-plays. Model-Learning, using: videos on relevant incidents or accidents caused by team-related errors, videos showing the positive results of effective teamwork, voice recordings (communication). Problem oriented learning, using: exercises and training in the use of new behavioural strategies, role-plays and groupwork, simulations. Best results can be expected within the subject of communication and teamwork by presenting video reconstructions or recordings of incidents accidents and in combination with simulator exercises to practise and learn new behavioural strategies. Teamwork exercises will also improve teamwork abilities by: Developing tools to establish new behavioural practices: checklists, behavioural rules. Instructors should ensure that subjects are presented in an easily understood way and made relevant to the participants Guideline TRM Development Guideline 11 TRM training tools and methods should include lectures, examples, discussions, role-plays, videos on team-related errors, handouts, checklists and simulator exercises. Page 24 Released Issue Edition 1.0

31 Guidelines for Developing and Implementing HUM.ET1.ST GUI Evolution The following sub-chapters deal with the issues of TRM evolution: application, evaluation, extension TRM Application Application and reinforcement of should foster enhanced teamwork performance in several respects: more positive team culture, improved interpersonal communication and effectiveness, commitment, improved job satisfaction and enhanced motivation of team members. Creating and reinforcing a team-oriented workforce is a challenge for the whole organisation. Application of TRM principles therefore needs support from everyone involved Role of Management Management plays an important role in the creation and maintenance of such a team culture. Commitment and active support from formal and informal leaders is crucial for successful application of TRM. Team and individual (de)briefings, constructive feedback mechanisms, adequate leadership, appropriate and timely interpersonal communication, and mutual respect, all contribute to the professionalism of a team Work Environment TRM should be supported by reinforcement of its principles in the operational environment. Information and reminders like posters, flyers and booklets should be available in every operational environment Incident Investigation Incident investigation usually tries to identify technical, procedural and human contributions. The tendency here is to focus on human limitations rather than strengths and capabilities. Investigation data are often perceived by operational staff as criticism rather than an opportunity to change attitudes and behaviour. Incident investigations should therefore take TRM principles into account and report and publish outcomes where worse was avoided because TRM principles were successfully applied. Edition 1.0 Released Issue Page 25